Department of Defense INSTRUCTION

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1 Department of Defense INSTRUCTION NUMBER November 27, 2013 USD(AT&L) SUBJECT: Secretary of Defense Maintenance Awards References: See Enclosure 1 1. PURPOSE. This instruction reissues DoD Instruction (DoDI) (Reference (a)) in accordance with the authority in DoD Directive (DoDD) (Reference (b)) and establishes policy, updates assigned responsibilities, and prescribes procedures for the Secretary of Defense Maintenance Awards Program according to the guidance in section 1125 of Title 10, United States Code and DoDD (References (c) and (d)). 2. APPLICABILITY. This instruction applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this instruction as the DoD Components ). 3. POLICY. It is DoD policy to: a. Enhance maintenance awareness and encourage maintenance excellence by providing appropriate recognition through an annual maintenance awards program. b. Annually recognize excellence by presenting the Secretary of Defense Maintenance Awards to field-level maintenance units and the organic depot-level maintenance program that have shown the highest levels of outstanding achievement in maintenance and maintenance management. There will be separate award categories for field-level units and the depot-level maintenance programs. 4. RESPONSIBILITIES. See Enclosure PROCEDURES

2 a. Eligibility, nomination requirements, rating criteria, selection procedures, and postselection details are contained in Enclosure 3. b. The nomination package format is specified in Enclosure RELEASABILITY. Unlimited. This instruction is approved for public release and is available on the Internet from the DoD Issuances Website at 7. EFFECTIVE DATE. This instruction: a. Is effective November 27, b. Must be reissued, cancelled, or certified current within 5 years of its publication to be considered current in accordance with DoD Instruction (Reference (e)). c. Will expire effective November 27, 2023 and be removed from the DoD Issuances Website if it hasn t been reissued or cancelled in accordance with Reference (e). Enclosures 1. References 2. Responsibilities 3. Procedures 4. Nomination Package Formats Glossary Frank Kendall Under Secretary of Defense for Acquisition, Technology, and Logistics 2

3 TABLE OF CONTENTS ENCLOSURE 1: REFERENCES...4 ENCLOSURE 2: RESPONSIBILITIES...5 UNDER SECRETARY OF DEFENSE FOR ACQUISITION, TECHNOLOGY, AND LOGISTICS (USD(AT&L))...5 ASSISTANT SECRETARY OF DEFENSE FOR LOGISTICS AND MATERIEL READINESS (ASD(L&MR))...5 SECRETARIES OF THE MILITARY DEPARTMENTS...5 SECRETARY OF THE NAVY...6 CHAIRMAN OF THE JOINT CHIEFS OF STAFF...6 ENCLOSURE 3: PROCEDURES...7 AWARD CATEGORIES...7 ELIGIBILITY FOR AWARD...7 CATEGORIES OF COMPETITION...7 PERIOD OF PERFORMANCE...8 NOMINATION PACKAGE REQUIREMENTS...8 EVALUATION FACTORS...9 SELECTION PROCEDURES...11 NOTIFICATION OF WINNERS...11 AWARDS CEREMONY...12 POSSESSION AND DISPLAY OF THE SECRETARY OF DEFENSE MAINTENANCE AWARD TROPHIES...12 ENCLOSURE 4: NOMINATION PACKAGE FORMATS...13 FIELD-LEVEL NOMINATION PACKAGES...13 DEPOT-LEVEL NOMINATION PACKAGES...14 GLOSSARY...15 PART I: ABBREVIATIONS AND ACRONYMS...15 PART II: DEFINITIONS CONTENTS

4 ENCLOSURE 1 REFERENCES (a) DoD Instruction , Secretary of Defense Maintenance Awards Program, October 16, 2009 (hereby cancelled) (b) DoD Directive , Under Secretary of Defense for Acquisition, Technology, and Logistics (USD(AT&L)), December 9, 2005, as amended (c) Section 1125 of Title 10, United States Code (d) DoD Directive , Maintenance of Military Materiel, March 31, 2004 (e) DoD Instruction , DoD Directives Program, September 26, 2012, as amended 4 ENCLOSURE 1

5 ENCLOSURE 2 RESPONSIBILITIES 1. UNDER SECRETARY OF DEFENSE FOR ACQUISITION, TECHNOLOGY, AND LOGISTICS (USD(AT&L)). The USD(AT&L): a. Appoints individual selection boards to review the annual field-level and depot-level nominations. b. Acts as the approval authority for the final selection of the Secretary of Defense Maintenance Awards Program winners. 2. ASSISTANT SECRETARY OF DEFENSE FOR LOGISTICS AND MATERIEL READINESS (ASD(L&MR)). Under the authority, direction, and control of the USD(AT&L), the ASD(L&MR): a. Provides overall management of the maintenance awards program. b. Convenes and conduct the annual Secretary of Defense Maintenance Awards Selection Boards. c. Annually obtains the required award elements, including award certificates signed by the Secretary of Defense, trophy identification items, award winners plaques, award coins, and the Pentagon award display material. 3. SECRETARIES OF THE MILITARY DEPARTMENTS. The Secretaries of the Military Departments: a. Annually, during the month of January, designate a representative for the Secretary of Defense Maintenance Awards Program to act as the liaison to the ASD(L&MR) to assist in the coordination of the Secretary of Defense Maintenance Awards Program and awards ceremony. b. Annually, during the month of May, forward a maximum of two nomination packages per competition category (small, medium, and large) for deserving field-level units to the ASD(L&MR) for evaluation by the Secretary of Defense Field-level Maintenance Awards Selection Board. c. Annually, during the month of May, forward nomination packages for deserving depotlevel maintenance programs. No more than one nomination package will be forwarded from each major organic depot maintenance activity to the ASD(L&MR) for evaluation by the Secretary of Defense Depot-level Maintenance Awards Selection Board. 5 ENCLOSURE 2

6 4. SECRETARY OF THE NAVY. In addition to the responsibilities in section 3 of this enclosure, the Secretary of the Navy submits nomination packages for the Marine Corps as described in paragraphs 3b and 3c of this enclosure. 5. CHAIRMAN OF THE JOINT CHIEFS OF STAFF. The Chairman of the Joint Chiefs of Staff: a. Annually, during the month of January, designates a representative for the Secretary of Defense Maintenance Awards Program to act as the liaison to the ASD(L&MR) to assist in the coordination of the Secretary of Defense Maintenance Awards Program and awards ceremony. b. Annually, during the month of May, forwards a maximum of one nomination package per competition category (small, medium, and large) for deserving field-level units not reporting to a specific Military Service to the ASD(L&MR) for evaluation by the Secretary of Defense Fieldlevel Maintenance Awards Selection Board. 6 ENCLOSURE 2

7 ENCLOSURE 3 PROCEDURES 1. AWARD CATEGORIES a. Secretary of Defense Field-Level Maintenance Awards and Secretary of Defense Phoenix Award (1) The Secretary of Defense Phoenix Award is the highest DoD award for field-level maintenance. (2) Annually, six field-level maintenance units will be awarded the Secretary of Defense Field-Level Maintenance Awards, two from each competition category (small, medium, and large). They will each receive a plaque emblazoned with the Phoenix symbol and a certificate of achievement signed by the Secretary of Defense. (3) From these six winning units, one will be selected as the best of the best and named the annual Secretary of Defense Phoenix Award winner. The Phoenix Award winner will be presented with a replica of the Phoenix Trophy, which may be kept by the winning unit for the year following the award. b. Robert T. Mason Award for Depot Maintenance Excellence. Annually, one program from an organic depot-level maintenance activity will be awarded the Robert T. Mason Award for Depot Maintenance Excellence. The winning organic depot-level maintenance activity will receive a plaque, a certificate of achievement signed by the Secretary of Defense, and a replica of the Robert T. Mason Trophy bearing the activity s name and identifying the winning program, which may be kept by the activity for the year following the award. 2. ELIGIBILITY FOR AWARD a. Field-Level Awards. All Active and Reserve Component (AC/RC), joint maintenance activities, and National Guard units that perform field-level maintenance of weapon systems and equipment are eligible to compete. AC/RC units that are associate units may compete as a single unit. For the field-level award, the preponderance of unit staffing will comprise uniformed U.S. military personnel and may also include DoD civilians. b. Depot-Level Award. All major organic depot maintenance activities are eligible to nominate a program, workload, team, or product line within their operations. 3. CATEGORIES OF COMPETITION 7 ENCLOSURE 3

8 a. Field-Level. The categories of competition will be based on the size of the unit, as determined by the total number of authorized personnel (see Glossary). The nominated units will be representative of the different types of units within the DoD Components that maintain military equipment, software, or weapon systems. To be eligible, units must have operated within their nominated size category for at least half of the competition period (6 months). b. Depot-Level. The depot-level competition is for programs within the major organic depot maintenance activities, i.e., those activities having more than 400 DoD civilian and U.S. uniformed military employees engaged in depot-level maintenance operations. All programs that have been in operation within the depot-level maintenance activity for at least half of the competition period (6 months) are eligible to compete. 4. PERIOD OF PERFORMANCE. To align with the maintenance awards programs of the Military Services, the competitive period will be the 12-month period starting October 1 and ending September 30 each year (i.e., September 30 of the year before nomination). 5. NOMINATION PACKAGE REQUIREMENTS a. The nomination package will not exceed 10 pages, excluding the cover, table of contents, endorsements, dividers, and proposed citation. b. The award nomination package will consist of three sections. (1) Section 1 must provide requested information as specified in the nomination package format shown in Enclosure 4 of this instruction. (2) Section 2 must addresses the rating areas described in paragraph 6a of Enclosure 3 for field-level nominees and paragraph 6b for depot-level nominees. Nominees will list their accomplishments in priority order and identify, where appropriate, how these accomplishments exceeded the baseline of planned or normal performance. For field-level, if the nominated unit consists of multiple maintenance organizations or functions, accomplishments of all maintenance activities will be addressed. (3) Section 3 must include a concise, unclassified, proposed citation highlighting specific achievements suitable for use in the award presentation ceremony. c. Before submission, the nomination package will be cleared for public release to military and civilian news services. d. Nomination packages will be provided electronically in Portable Document Format (PDF) format. e. The nomination package will not include classified information. 8 ENCLOSURE 3

9 6. EVALUATION FACTORS a. Field-Level Units. Factors used to evaluate the nominated units during the selection process will be weighted as shown: (1) Mission Accomplishments (Weight Factor = 4). A description of mission accomplishments for the competition period. Accomplishments will stress maintenance efforts and their impacts on operational capability, mission accomplishment, and readiness levels of the unit or supported activities. Examples include: (a) Accomplishment of the unit mission requirements. (b) Weapon system or equipment materiel readiness status. (c) Operational deployment participations and successes. (d) Local or higher echelon exercise participations and successes. (e) Special programs, such as time compliance and technical order accomplishment. (f) Specific challenges unique to the operational environment. (2) Innovative and Effective Use of Maintenance Resources (Weight Factor = 4). A description of accomplishments that show efficient and effective use of maintenance resources (e.g., personnel, process, facilities, equipment, and technology). Examples include: (a) Resource management innovations and improvements. posture. (b) Equipment improvement recommendations that resulted in an improved readiness (c) Production control innovations and improvements. (d) Innovative continuous process improvement implementation. (3) Quality of Life Programs (Weight Factor = 2). A description of programs or actions taken within the nominated unit to improve effectiveness, motivation, and morale of maintenance personnel. Examples include: (a) Resiliency. (b) Safety programs. (c) Training programs. 9 ENCLOSURE 3

10 (d) Self-help programs. (e) Personnel recognition programs. (f) Communications and social media. (g) Community projects. (h) Spousal support. b. Depot-Level Units. Factors used to evaluate the nominated units during the selection process will be weighted as shown: (1) Mission Accomplishments (Weight Factor = 4). A quantitative description of mission accomplishments for the competition period. Accomplishments will relate to the program baseline goals and requirements. Examples include: (a) Accomplishment of the unit s requirements. (b) Special programs such as time compliance and technical order accomplishment. (c) Specific challenges and accomplishments unique to the environment. (2) Effective Support to Military Operations (Weight Factor = 3). A description of accomplishments for the competition period that directly relate to operational success. Accomplishments will stress maintenance efforts and the impacts of those efforts on the operational capability and mission accomplishment of operational units supported. Examples include: (a) Extraordinary support to operational forces. metrics. (b) Impact on operational force availability, materiel readiness, and sustainability (c) Response to unforeseen demands (e.g., surge, flexibility, agility). (d) Innovative solutions (e.g., local manufacture, cross-training, and extraordinary coordination efforts). (3) Logistics Process Innovation (Weight Factor = 2). A description of maintenancerelated logistics systems innovations related to program accomplishment. Examples include: (a) Reliability, maintainability, and supportability improvements. (b) Cost avoidance. 10 ENCLOSURE 3

11 (c) Improvements in the use of resources. (d) Cycle time improvements. (e) Effective technology insertion in process and products. (f) Maintenance concept or process improvement implementation. (4) Quality of Life Programs (Weight Factor = 1). A description of programs or actions taken within the nominated unit to improve effectiveness, motivation, and morale of maintenance personnel. Examples include: (a) Safety programs. (b) Training programs. (c) Self-help programs. (d) Personnel recognition programs. (e) Communication programs. (f) Community projects. (g) Spousal support. 7. SELECTION PROCEDURES. The ASD(L&MR) will annually convene two selection boards (one field-level and one depot-level) to evaluate nominations and recommend award finalists to the USD(AT&L) for approval. a. The boards, appointed by the USD(AT&L), will be composed of military officers and DoD civilians who have knowledge, experience, and background in maintenance and maintenance management. b. Evaluations will be based solely on the content in the nomination packages. c. The selection review boards will convene annually in June. 8. NOTIFICATION OF WINNERS. The USD(AT&L) will notify the Secretaries of the Military Departments and the Chairman of the Joint Chiefs of Staff, by memorandum, of the field-level winning units selected for the Secretary of Defense Maintenance Awards. The winners of the Secretary of Defense Phoenix Award and the Robert T. Mason Award for Depot Maintenance Excellence will be announced at the formal awards ceremony. 11 ENCLOSURE 3

12 9. AWARDS CEREMONY. The Secretary of Defense Maintenance Awards, the Phoenix Trophy, and the Robert T. Mason Award for Depot Maintenance Excellence Trophy will be presented annually to the winners in a single ceremony or multiple ceremonies during the first quarter of the fiscal year following the approval by the USD(AT&L). 10. POSSESSION AND DISPLAY OF THE SECRETARY OF DEFENSE MAINTENANCE AWARD TROPHIES a. The Secretary of Defense Phoenix Trophy and the Robert T. Mason Award for Depot Maintenance Excellence Trophy will be permanently displayed in the Pentagon in Washington, D.C., to allow for suitable viewing and will bear the name of the current year s award winners. The display will also list all past trophy winners and the year awarded. b. Replicas of the Secretary of Defense Phoenix Trophy and the Robert T. Mason Award for Depot Maintenance Excellence Trophy, known as the traveling trophies, will be presented to the winning units each year. These replica trophies may be kept by the winning units for approximately 1 year and will be returned as directed by the ASD(L&MR). c. Winners of the Secretary of Defense Maintenance Awards will be presented plaques and certificates of achievement for retention by the winning units. 12 ENCLOSURE 3

13 ENCLOSURE 4 NOMINATION PACKAGE FORMATS 1. FIELD-LEVEL NOMINATION PACKAGES a. Section 1 (1) Military Service or command. (2) Specific unit designation of nominated unit (e.g., 1st Squadron, 3rd Armored Cavalry Regiment, Fort Hood, TX; 1st Maintenance Battalion, 1st Marine Logistics Group, I Marine Expeditionary Force, Camp Pendleton, CA; Helicopter Maritime Strike Squadron Seven Seven, Naval Air Station North Island, CA; or 353rd Special Operations Maintenance Squadron, Kadena Air Base, JA). (3) Competition category and the number of personnel at the nominated unit (e.g., medium/412 personnel). (4) Unit commander s name and mailing address. (5) Primary and alternate point of contact (POC) information for nominated units, including name, address, commercial telephone number, Defense Switched Network (DSN) number, and cell phone number. (6) Primary and alternate Military Service POC information for nominated units, including name, address, commercial telephone number, DSN number, and cell phone number. (7) Unit size, specifying the number of officers, enlisted, U.S. Government civilian, and contractor personnel. (8) Unit location. (9) Unit mission statement (approximately five or fewer lines). (10) Operational chronology during the award period, i.e., from October 1 to September 30, of significant operational events, deployments, and major training exercises to include operation name, location, and dates. b. Section 2. Content addressing rating areas described in paragraph 6a of Enclosure 3 of this instruction. c. Section 3. Proposed citation. 13 ENCLOSURE 4

14 2. DEPOT-LEVEL NOMINATION PACKAGES a. Section 1 (1) Military Service. (2) Specific major depot maintenance activity responsible for nominated program (e.g., Corpus Christi Army Depot, Marine Depot Maintenance Command, Fleet Readiness Center East, Puget Sound Naval Shipyard & Intermediate Maintenance Facility, or Warner Robins Air Logistics Complex). (3) Identification of nominated program (e.g., F110 engine repair line, C-130 Programmed Depot Maintenance Team, H-1 Production Program, High Mobility Multipurpose Wheeled Vehicle Recapitalization Program, Special Field Team Support for Overseas Contingency Operations, or Small Arms Repair Program). (4) Depot activity commander s name and mailing address. (5) Primary and alternate POC information for nominated units, including name, address, commercial telephone number, DSN number, and cell phone number. (6) Primary and alternate Military Service POC information for nominated units, including name, address, commercial telephone number, DSN number, and cell phone number. (7) Nominated program size, specifying the number of U.S. Government civilian, contractor, and military personnel. (8) Mission statement for the program (approximately five or fewer lines). b. Section 2. Content addressing rating areas described in paragraph 6b of Enclosure 3 of this instruction. c. Section 3. Proposed citation. 14 ENCLOSURE 4

15 GLOSSARY PART I. ABBREVIATIONS AND ACRONYMS AC/RC Active and Reserve Component ASD(L&MR) Assistant Secretary of Defense for Logistics and Materiel Readiness DoDD DoDI DSN DoD Directive DoD Instruction Defense Switched Network POC point of contact USD(AT&L) Under Secretary of Defense for Acquisition, Technology, and Logistics PART II. DEFINITIONS These terms and their definitions are for the purpose of this instruction. competition category Small: Up to 300 authorized personnel. Medium: 301 to 999 authorized personnel. Large: 1,000 or more authorized personnel. depot-level maintenance program. Organic depot maintenance that includes workloads such as engine, landing gear, component repair, or foundry operations; specific weapon system rebuild, repair, or overhaul lines; special operational support; and specific large-scale overhaul projects. field-level maintenance. Weapon system and equipment maintenance performed at organizational and intermediate levels. major organic depot maintenance activity. An organic depot maintenance activity with more than 400 DoD civilian and U.S. uniformed military employees engaged in depot-level maintenance operations. 15 GLOSSARY

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